Corporate Compliance Insights

OFAC whitepaper cover image

It's the most detailed statement to-date of OFAC’s views on the best practices that companies should follow to ensure compliance with U.S. sanctions laws and regulations, and some would call it a total "game changer." It's meant to be a roadmap for ABAC compliance practitioners working to prevent sanctions violations from occurring in the first place and, when violations do occur, to...

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Regulatory Roundup: 10 Recent FINRA and SEC Violations and Penalties

Over the past year, the SEC and FINRA have been hard at work enforcing communications supervision compliance regulations throughout the financial services industry -- and many firms are feeling the impact of the increased scrutiny. Download this summary now to see how the violations occurred, including: Bank Fined $10.5 Million for Supervision Violations Clearing Firm Fined for Anti-money Laundering Compliance Failures Bank...

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Chief Customer Officer, Chief Marketing Officer and General Counsel to Help Organization Enrich Customer Experience, Drive Business Growth Portland, Oregon (October 17, 2019) – Smarsh®, helping customers get ahead – and stay ahead – of the risk within their electronic communications, today announced the hiring of two senior executives and the promotion of a third. Rohit Khanna has joined Smarsh as Chief Customer Officer (CCO),...

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index finger places atop wooden block to signfy domino effect

The Shared Assessments Program, the member-driven leader in third-party risk assurance, recently released a new set of findings and recommendations developed with C-level executives and risk experts from a dozen organizations. The briefing paper provides boards of directors and C-level executives with new findings on the role of and increasingly crucial importance of board oversight, specific high-profile case study examples of the opportunity...

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Man frustrated at desk by large amounts of paperwork

New York, NY –  10 October 2019  – Computershare has revealed a list of the most common reasons that companies are found to fall short of state compliance requirements. The company’s growing Registered Agent Services division supports companies with statutory representation, annual report filings, and transactional services to help them remain compliant. It says that its work onboarding new clients, by summarizing...

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Risk Managers: You’re Probably Spending Too Much Time Monitoring Email

Remember when email was the only way we shared information?  Modern communication methods have evolved -- and risk has grown along with it. But you know that already, right? If you’re on this page, you might already have concerns relating to communication. With official conversations taking place on social media, on collaboration platforms like Slack and Microsoft Teams -- or seemingly “invisibly”...

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Interview graphic for audrey Harris

Audrey Harris, partner and co-chair of Mayer Brown’s global anti-corruption & FCPA practice, talks all things anti-corruption – from Jay Clayton’s critique of regulators’ lackluster enforcement to the next frontier of compliance. CCI: Tell us about your background. How did you get your start in compliance? Audrey Harris: After Georgetown Law, I spent my associate and early partner years at an international...

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closeup of chippenham on UK map

Acquisition of Expolink and addition of new managing director are moves to support the region as new regulations proliferate LONDON (October 9, 2019) – In response to rapidly growing marketplace demand for its products, leading risk and compliance software and services company NAVEX Global® is expanding its presence in the U.K. and across the EU to serve a wider range of customers in...

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PwC annual corporate directors survey

PwC’s Annual Corporate Directors Survey, set to release on October 8th, reveals a conundrum of collegiality in an increasingly distrustful environment. In a survey of more than 800 U.S. board directors, 43 percent revealed they have difficulty voicing a dissenting view in the boardroom. With corporate boards being tasked with ensuring the company is on the right track, this concern may be...

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microphone on white lectern at conference

Jeff Karp, Professor of Medicine at Brigham and Women’s Hospital, Harvard Medical School will be presenting at the upcoming Evolution Summit this November marcus evans is very proud to announce Dr. Jeff Karp, Professor of Medicine at Brigham and Women’s Hospital, Harvard Medical School as a speaker at the Evolution Summit taking place in Boston this November. Dr. Jeff Karp is a...

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glowing polygonal head background with neurons, artificial intelligence concept

A recent survey of compliance and procurement professionals finds cybersecurity risk and artificial intelligence adoption top list of concerns Short Hills, NJ (September 30, 2019) -- A recent survey of compliance and procurement professionals indicates respondents are less confident about managing third-party relationships, with cyber security threats and the increased adoption of artificial intelligence (AI) listed as top concerns. The 2019 Compliance...

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